Compilation of Securities Laws Within the Jurisdiction of the Committee on Energy and Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, Trust Indenture Act of 1939, Investment Company Act of 1940, Investment Advisers Act of 1940, Securities Investor Protection Act of 1970, Volum 4U.S. Government Printing Office, 1988 - 542 sider |
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Side 4
... directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) and any underwriter or among underwriters who are or are to be in privity of contract with an issuer ( or any ...
... directly or indirectly controlling or controlled by an issuer , or under direct or indirect common control with an issuer ) and any underwriter or among underwriters who are or are to be in privity of contract with an issuer ( or any ...
Side 5
... directly or indirectly control- ling or controlled by the issuer , or any person under direct or indirect common control with the issuer . ( 12 ) The term " dealer " means any person who engages either for all or part of his time , directly ...
... directly or indirectly control- ling or controlled by the issuer , or any person under direct or indirect common control with the issuer . ( 12 ) The term " dealer " means any person who engages either for all or part of his time , directly ...
Side 7
... directly or indirectly controlling , controlled by , or under common control with the employer , ( ii ) which covers employees some or all of whom are employees within the meaning of section 401 ( c ) ( 1 ) of such Code , or ( iii ) ...
... directly or indirectly controlling , controlled by , or under common control with the employer , ( ii ) which covers employees some or all of whom are employees within the meaning of section 401 ( c ) ( 1 ) of such Code , or ( iii ) ...
Side 9
... directly or indirectly for soliciting such exchange ; ( 10 ) Any security which is issued in exchange for one or more bona fide outstanding securities , claims or property inter- ests , or partly in such exchange and partly for cash ...
... directly or indirectly for soliciting such exchange ; ( 10 ) Any security which is issued in exchange for one or more bona fide outstanding securities , claims or property inter- ests , or partly in such exchange and partly for cash ...
Side 11
... directly or in- directly- ( 1 ) to make use of any means or instruments of transporta- tion or communication in interstate commerce or of the mails to sell such security through the use or medium of any pro- spectus or otherwise ; or 16 ...
... directly or in- directly- ( 1 ) to make use of any means or instruments of transporta- tion or communication in interstate commerce or of the mails to sell such security through the use or medium of any pro- spectus or otherwise ; or 16 ...
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ... United States Uten tilgangsbegrensning - 1988 |
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amount application appropriate regulatory agency assets bank Board broker or dealer broker or government business development company centum clearing agency Commis Commission Commodity Exchange Act contract corporation court curities debtor determine directly or indirectly directors effect employee face-amount certificate company Federal Reserve System filed government securities broker government securities dealer holding company indenture securities interstate commerce investment adviser issuer loan mails means or instrumentality ment municipal securities dealer national securities exchange necessary or appropriate officer otherwise paragraph participant payment person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement respect rule or regulation rules and regulations secu Securities Act securities issued security holders self-regulatory organization sion SIPC specified subparagraph subsection term tion transactions transfer agent trustee unit investment trust United States Code unlawful voting securities